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Best Series 9 and 10 Study Guides for 2022

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Simply put, you need one of the best Series 9 and 10 study guides if you want to pass these FINRA exams. With 215 questions taken over 5 1/2 hours, the FINRA Series 9 and 10 exams cover what you should know as a general securities sales supervisor. Although most candidates think the exams are moderately difficult if they study, the exams still cover a lot of material. Therefore, you should use Series 9 and 10 study guides to get ready for test day. To help you decide, we’ve collected the best Series 9/10 study material for self-studiers, visual learners, and more.

Best Series 9 and 10 Study Guides

Securities Institute of America

Securities Training Corp ExamFX Knopman Marks

Kaplan

Price per exam

$109-$279

$219.45-$517.28 $199.95-$309.95 $410-$510

$169-$449

Price for both 9 & 10

$239-$329

$671.52-$794.72 $459.95 $920

$409-$689

Availability

Bundled or separate

Separate Bundled or separate Separate

Bundled or separate

Textbook

Print and digital

Print and digital Online learning portal Print and digital

Print and digital

Videos

16+ hours total

17.5 hours total 12+ hours total

Short videos plus on-demand class

Live classes

Support

Phone, email, and chat

Instructor Hotline Yes Client Success Team

InstructorLink

Q bank

2,550 total

Exams only Quizzes + exams only

Practice exams

Unlimited

5+ 3+

3+

Length of access

180 days/6 months

6 months 90 days/3 months Unclear

5 months

Guarantee

Money-back

Money-back Money-back

Best feature

Video lectures

Live classes Guarantee Online Training Center

Performance tracker

Discount code Best SIA discount N/A icanpasscpa@examfx.com N/A N/A

 

Best Series 9/10 Study Material

Some of the following courses combine materials for both exams, and others sell them separately. Ultimately, though, you’ll need to take both if you want your Series 9/10 license.

Securities Exam Prep

Securities Institute of America

SIA Series 9/10 Study Material Packages

The Securities Institute of America (SIA) is first on our list and receives our top recommendation for Series 9 and 10 study guides. SIA has three tiers of materials, each of which is available for Series 9, Series 10, or a 9/10 package. (SIA has Series 99 study guides, too, and some of the best SIE exam study materials.)

The Textbook & Exam Prep Software package is the most basic self-study option. As the name suggests, you’ll get a printed textbook, a digital question bank, checkpoint exams, unlimited randomized practice exams, and a reference guide. Additionally, you’ll have access to SIA’s money-back guarantee if you take and pass the included Greenlight Exam. This test basically lets you know you’re prepared for the real thing.

If you’re more of a visual learner, the Complete Video Package omits the textbook but includes 16 hours of video. Specifically, you receive four hours for Series 9 and twelve for Series 10. This package also comes with a demo video and a video of Series 9/10 tips. Everything else from the Textbook & Exam Prep package is also included, too.

Finally, the Complete Self-Study Package includes everything above plus a personal study calendar. In addition to the Greenlight Exam and guarantee, all of these packages give you access to the materials for six months.

SIA Series 9/10 Study Material Prices

Although you can buy materials for the exams separately, you’ll save a bit of money by bundling both prep courses.

Complete Self-Study

Video Package

Textbook & Software

Series 9

$149.00

$124.99

$109.00

Series 10

$279.00

$149.00

$249.00

Series 9 & 10

$329.00

$239.00

$279.00

 

SIA Series 9 and 10 Study Guides Pros

  • Excellent value for the money
  • Lots of video content
  • Money-back guarantee with all packages
  • 90% pass rate (for all of SIA’s courses)
  • One-on-one tutoring available (priced separately)
  • Six months of access

SIA Series 9 and 10 Study Guides Cons

  • The details of the live support are unclear
  • No free trial

Securities Training Corporation

STC Series 9/10 Study Material Packages

The Securities Training Corporation (STC) offers FINRA Series 9 books as well as materials for Series 10. However, you’ll have to buy them separately. All come with six months of access, though. The most basic option is the Standard Package. With this package, you’ll receive a study manual (both digital and print), final exams, and Crunch Time Facts. You’ll also have access to both 24/7 tech support and the Instructor Hotline.

Next up is the Premier Package, which comes with everything in the Standard Package plus a series of on-demand lecture videos that total over 17 hours for both exams. The Premier Package also comes with more progress exams and flashcards for review. Finally, and most importantly, you’ll qualify for STC’s money-back guarantee if you take and pass the Greenlight Exams.

STC’s money-back guarantee also applies to the Premier Plus Package, which is the only option on this list that comes with a live classroom component. The Series 9 course comes with a one-day course, and the Series 10 course comes with a two-day course. If you can’t find an option that works with your schedule, you can watch a pre-recorded version of the class instead.

STC Series 9/10 Study Material Prices

Unfortunately, you won’t receive any kind of discount for bundling both FINRA Series 9 and FINRA Series 10 courses. Also, the inclusion of live courses makes the Premier Plus course expensive. However, you can buy flashcards, videos, and even live classes a la carte.

Premier Plus Premier Standard
Series 9 $365.75 $329.18 $219.45
Series 10 $517.28 $416.96 $339.63

STC Series 9 and 10 Study Guides Pros

  • Live classroom component with Premier Plus
  • Lots of video content
  • STC Pass Guarantee
  • 95% pass rate (for all of STC’s courses)
  • Six months of access

STC Series 9 and 10 Study Guides Cons

  • The number of practice exams is unclear
  • Live classes are all online (as of 2022)
  • No discount for bundling the Series 9 and 10 study guides

ExamFX

ExamFX Series 9/10 Study Material Packages

ExamFX only offers one package for each exam, but the company has a combined package as well. Each package includes access to the company’s interactive learning portal, which contains all the necessary FINRA Series 9/10 materials. There, you’ll also receive multiple online exam simulations and a readiness exam, as well as a guarantee exam. The guarantee exam functions like a greenlight exam for the company’s money-back guarantee, which comes with all packages. (So if you pass the guarantee exam, you should be able to pass the real Series 9 and 10 exams.) Unfortunately, very few details about the specifics of ExamFX’s courses are available. Just as importantly, the ExamFX courses only come with 90 days of access.

ExamFX Series 9/10 Study Material Prices

The Series 9 course costs $109.95, and the Series 10 course costs $309.95. However, you’ll save money if you buy the combined package for $459.95. None of ExamFX’s materials are available for purchase separately, though.

Plus, we have a unique ExamFX discount code that can save you some extra cash: icanpasscpa@examfx.com.

ExamFX Series 9 and 10 Study Guides Pros

  • Good value for money
  • 87% pass rate (for all of ExamFX’s courses)
  • Money-back guarantee
  • Discounts for managers and participating organizations

ExamFX Series 9 and 10 Study Guides Cons

  • Minimal information about study materials is available
  • No video content
  • Only three months of access

Knopman Marks

Knopman Marks Series 9/10 Study Material Packages

Like ExamFX, Knopman Marks offers one course per exam. Each course comes with a textbook, ebook, and online question bank – all written by Kaplan – through the company’s Training Center digital study hub. Knopman Marks also has a benchmark exam, downloadable supplements, and a decent amount of video content – 2+ hours for Series 9 and 10+ hours for Series 10. Additionally, you can access most content through a mobile app to study on the go. The access length for these courses isn’t specified, though.

Knopman Marks Series 9/10 Study Material Prices

The Series 9 course costs $410 and the Series 10 course costs $510. Unfortunately, Knopman Marks doesn’t offer a discount for purchasing both courses, making this the most expensive combination package on our list.

Knopman Marks Series 9 and 10 Study Guides Pros

  • Lots of study materials, including video lectures
  • Online Training Center
  • Free demo

Knopman Marks Series 9 and 10 Study Guides Cons

  • Unclear access length
  • Expensive
  • No guarantee if you don’t pass your exams

Kaplan

Kaplan is a widely-known test prep company that makes courses for a number of standardized and professional exams, including finance exams.

Kaplan Series 9/10 Study Material Packages

Kaplan offers a total of nine options: three tiers for each exam and a combined 9/10 package. The Basic Package comes with a FINRA Series 9 10 License Exam Manual in both print and digital form. The Kaplan digital study center includes a study calendar and performance tracker, as well as access to the company’s SecuritiesPro Qbank. You’ll have access to at least one practice exam, plus regular content updates and exam tips.

The Essential Package contains everything above as well as a video library, checkpoint exams, and a midterm exam. Finally, the Premier Package includes all of these materials plus a pre-recorded, on-demand class from one of Kaplan’s expert instructions and accompanying class notes. You’ll also get access to a Mastery Exam (a final full-length practice exam) and InstructorLink support.

Kaplan Series 9/10 Study Material Prices

Fortunately, Kaplan does offer a discount for bundling the two Series packages, since its prices are usually at the higher end of the spectrum. The License Exam Manual, QBank, flashcards, and review sheets are also available for purchase separately.

Premier

Essential

Basic

Series 9

$309

$259

$169

Series 10

$449

$399

$269

Series 9 & 10

$689

$599

$409

 

Kaplan Series 9 and 10 Study Guides Pros

  • Well-known test prep brand
  • Lots of study tools
  • InstructorLink provides direct access to experts
  • Performance tracking software

Kaplan Series 9 and 10 Study Guides Cons

  • InstructorLink and on-demand classes are only available with the most expensive package
  • No guarantee
  • Confusing tech support

Taking the Series 9 & 10 Exams

Also known as the General Securities Sales Supervisor Exams, the FINRA.org Series 9 and 10 exams are co-requisites with the SIE and Series 7 exams. Therefore, if you want to work as a securities sales supervisor, you’ll need to pass all four of those exams. However, you can take them in any order.

What’s on the exams?

Here’s a quick breakdown of the format and content of each exam.

Series 9 Series 10

$130

$175

60 questions

155 questions

90 minutes

4 hours

Pass with a 70%

Pass with a 70%

  • (F1) Supervise the Opening and Maintenance of Customer Options Accounts
  • (F2) Supervise Sales Practices and General Options Trading Activities
  • (F3) Supervise Options Communications
  • (F4) Supervise Associated Persons and Personnel Management Activities
  • (F1) Supervise Associated Persons and Personnel Management Activities
  • (F2) Supervise the Opening and Maintenance of Customer Accounts
  • (F3) Supervise Sales Practices and General Trading Activities
  • (F4) Supervise Communications with the Public

 

For more information on the exam content, you can access the official FINRA Series 9 and FINRA Series 10 outline PDF.

Note that each exam includes several unmarked pre-test questions – five of the Series 9 and ten of the FINRA Series 10 questions. Basically, these pre-test questions are being tried out for future exams, and they don’t count toward your final score. However, you won’t be able to figure out which questions are the pre-test ones, so you should answer all of them to the best of your ability.

How do I take the exams?

Enrollment for the Series 9 FINRA and Series 10 FINRA exams is a little different than some other professional finance exams. After all, you need to be sponsored to take them. (The process and timing are similar to the SIE exam dates and registration process, though.) Thus, your sponsoring FINRA member or associated organization will submit your information and test fee. Then, Prometric will contact you to schedule a time to take the exams. You can take either exam first. Plus, you can take them on the same day or separately.

Although the scheduling is done through Prometric, you don’t travel to a testing center to take these exams. Instead, you’ll take them on your own computer. However, your setup must include a webcam so that remote testing proctors can see your workstation. Before you start your exam, your proctor will conduct a visual inspection of your testing environment. Make sure your computer meets all system requirements well before the day of the exam, too.

How hard are the Series 9 and 10 exams?

Overall, the Series 9/10 difficulty level is considered mild to moderate. However, FINRA Series 10 difficulty is generally higher than Series 9 because it covers more material and asks a larger number of questions.

Frequently Asked Questions

How much Series 9/10 study time is necessary?

Although FINRA doesn’t offer specific recommendations for how many hours to study for Series 9/10, most securities exams require 20-50 hours of study time. Remember that Series 10 will require more time because the syllabus is longer.

How do Series 9 and 10 compare to other Series exams?

Of course, Series 9 and 10 aren’t the only securities exams that FINRA offers. When it comes to Series 9/10 vs 24, FINRA says that 9 and 10 are “limited principal exams” that “qualify an individual to supervise sales activities of a broker-dealer.” On the other hand, Series 24 is a “general securities principal” exam that qualifies the candidate to “supervise all areas of the member’s investment banking and securities business.” Thus, in terms of Series 24 vs 9/10, Series 24 offers a broader scope but more limited products.

Alternatively, a Series 9/10 license vs 26 is the difference between general securities and limited-investment securities. Series 26 is a co-requisite with the Series 6 exam rather than the Series 7.

Does FINRA publish a Series 9/10 pass rate?

Unfortunately, there is no official Series 9 10 exam pass rate. However, several test prep companies tend to claim that 80-90% of their students pass these exams.

What’s a good Series 9/10 salary?

The average pay for Series 9/10 professionals – that is, licensed general securities sales supervisors – is around $76,000 a year, according to Payscale.

Conclusion

Once you have passed either the Series 9 or 10 exam, you have two years to pass the other before your scores expire. Thus, you’ll want to pick the best Series 9/10 study materials for your budget and learning style. Although most students don’t need a full two years of studying, make sure you choose a course that gives you enough length of access to suit your study calendar.

Overall, our top recommendation goes to the Securities Institute of America’s Complete Self-Study Package. However, the other Series 9 and 10 study guides on our list will also get you prepared. Consider what’s most important to you in a test prep course and choose the one that best meets your needs.

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